J.M. FINN & CO.LTD

• Principal Place of Business

  25 Copthall Avenue

  London

  EC2R 7AH

  UNITED KINGDOM

  Phone

  +4402076001660

  Web

  https://www.jmfinn.com

• Complaints Contact

  25 Copthall Avenue

  London

  EC2R 7AH

  UNITED KINGDOM

  Phone

  +4402076001660

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

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  • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• George Timothy Pullen

  IRN GTP01019

  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 10 Dec 2024)
  • [FCA CF] Client dealing (1 Jan 2021 to 10 Dec 2024)
  • CF30 Customer (11 Apr 2013 to 8 Dec 2019)
• Gillian Margaret Leates

  IRN GML01028

  • CF30 Customer (21 Jan 2010 to 31 Dec 2012)
• Gin Man Simon Wong

  IRN GMW00008

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • CF30 Customer (22 Dec 2016 to 8 Dec 2019)
• Gordon Ian Paterson

  IRN GIP01003

  • CF30 Customer (1 Nov 2007 to 2 Jul 2016)
  • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
• Gordon Lawrence Adams

  IRN GLA01008

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
• Gordon Pitman

  IRN GXP00145

  • 17. Administrative functions in relation to managing investments
  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Manager of certification employee (since 1 Jan 2021)
• Gregory Swolfs

  IRN GXS00264

  • [FCA CF] Material risk taker (since 1 Jan 2021)
• Harkesh Singh Kaul

  IRN HSK01028

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • CF30 Customer (16 May 2012 to 8 Dec 2019)
• Harry Frederick Alan Burnham

  IRN HFL01005

  • CF30 Customer (9 Jun 2016 to 9 Apr 2019)
• Harry Matthew Faull

  IRN HMF01011

  • CF30 Customer (1 Nov 2007 to 31 Dec 2017)
  • CF1 Director (30 Jun 2006 to 20 May 2008)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
  • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)

No changes recorded yet.